As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report.
On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
Reg Notice 23-20: Guidance and Resources Related to Regulation Best Interest
Reg Notice 23-11: Concept Proposal for a Liquidity Risk Management Rule
Reg Notice 21-35: Proposed Order Routing Disclosure Requirements
SEC FAQ on Form CRS
CAT NMS Plan Website
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 137: The Crucial Role of FINRA’s CAI Team
Episode 138: FINRA’s Blockchain Lab
Episode 129: A New Twist on New Account Fraud
AI Virtual Conference: Industry Views on the State of Artificial Intelligence
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity
2020 Ketchum Prize: The Financial Security of Americans with Disabilities
Excessive Trading: When A Lot Becomes Too Much
Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
FINRA’s R&D Program: Exploring the Future of Advanced Analytics
The Ombudsman: FINRA’s Confidential, Independent Resource
Encore | Beyond Hollywood: Money Laundering in the Securities Industry
Virtual Conference Panels: Fireside Chat on Current Issues
Regulation Best Interest: Implementing a New Standard of Conduct
Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs
FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad
Market Structure & COVID-19: Handling Increased Volatility and Volumes
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
The MAP Group: Gatekeeper to the Broker-Dealer Industry
FINRA & CE Council: Enhancing Industry Continuing Education
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